Records Retention Schedule

Transcription

1 MONTGOMERY COLLEGE Records Retention Schedule 2014 Montgomery College Montgomery College consolidated schedule published as of March Each office may revise its schedule as required; therefore, each office schedule displays a last update date. See Change Log at the end of the document for record of changes made after March Last Updated: March 21, 2016

2 Contents President s Office...1 Board of Trustees Organization President s Office Organizations: , , General Counsel Organization Equity and Diversity (HRSTM) Organization Office of Compliance Organization Planning & Institutional Effectiveness Organization 200xxx...9 Advancement & Community Engagement Advancement & Community Engagement Organization 210xxx Administrative & Fiscal Services Administrative and Fiscal Services Organization 220xxx Office of Management and Budget Organization 221xxx Office of Business Services Organization 222xxx Office of Information Technology Organization 223xxx Human Resources & Strategic Talent Mgt. Organization 224xxx Procurement (OBS) Organization 225xxx Facilities Organization 226xxx Auxiliary Services (OBS) Organization 227xxx Budget and Fiscal Analysis (OMB) Organization 230xxx Academic Affairs Academic Affairs Organization 240xxx Libraries Organization 241xxx Libraries Special Collections Organization 241xxx Provost Offices Organizations 310xxx, 410xxx, & 510xxx Instructional Deans Workforce Development and Continuing Education Organization 600xxx Student Affairs... 62

3 Student Affairs Organization 250xxx Student Affairs Deans Organizations 253xxx, 254xxx,& 255xxx Admission and Enrollment Management. Organization 2580xx Student Financial Aid Organization 2570xx Child Care Operations Organization 2560xx... 71

4 President s Office Page 1 of 76

5 Records Retention Schedule #: 1 Board of Trustees Organization Record Group #: 101 Board of Trustees Organization BOARD OF TRUSTEES OFFICIAL RECORDS Official files of the Montgomery College Board of Trustees, including approved minutes of Board meetings and packets (reference file) containing agendas and background material for Board consideration during regular monthly, special, and budget review sessions. Special Collections: 3 to 10 years, or permanent 3 to 10 years, then screen for any materials that are of historical value for the Office or College and transfer historical materials to Special Collections; destroy remaining materials. Permanent 1-2 BOARD OF TRUSTEES TOPICAL FILES Confidential memoranda with attachments, forwarded by the President to the Board, correspondence memoranda, and miscellaneous subject files relating to follow-up action taken to conform to Board actions and directives. Special Collections: 3 to 10 years, or permanent 3 to 10 years, then screen for any materials that are of historical value for the Office or College and transfer historical materials to Special Collections; destroy remaining materials. Permanent Date: 12/2013 Page 2 of 76

6 President s Office Organizations: , , Record Group #: 102 Records Retention Schedule: 2 President s Office Organizations: , , AWARDS Certificates of merit for staff, faculty and students 3 years 3 years, then destroy 2-2 ACCOUNTS PAYABLE RECORDS All documentation on incurred expenses by the president and senior administrative staff, including expense reports, mileage reimbursement, p-card and corporate card expenses) 5 years 5 years, then destroy 2-3 ACCREDITATION All documentation on Montgomery college accreditation policy and procedures, to include Maryland Higher Education Commission (MHEC), Maryland State Department of Higher Education (MSDHE), Strategic Plans, notifications, correspondence, and background materials. 5 years, or permanent 5 years, then screen for and destroy any material not of historical value; Special Collections: transfer remaining materials to Special Collections. Permanent 2-4 COLLEGE OPERATIONS All documentation on operational information about Montgomery College to include documents from college offices, college groups, events, and meetings. 5 years 5 years, then destroy 2-5 PRESIDENT S INTERNAL COMMUNICATIONS Internal communications issued by the Office of the President including announcements, blog entries, published President s Corner and Three Things to Know messages. 5 years 5 years, then destroy Date: 12/17/2013 Page 3 of 76

7 President s Office Organizations: , , Record Group #: 102 Records Retention Schedule: GLOBAL INITIATIVES All documentation on the College s international initiatives including, but not limited to the Sister Cities Program and arrangements with India, China and Ethiopia. Permanent 5 years, then screen for and destroy any material not of historical value; Special Collections: transfer remaining materials to Special Collections. Permanent 2-7 GOVERNMENT RELATIONS All documentation on legislative and advocacy efforts for the college, including local, state, and federal. 6 years 3 years, then transfer to off-site storage Off-Site: 3 years, then destroy 2-8 INSTITUTIONAL MEMBERSHIP All documentation on the presidents membership in local, state, and federal professional organizations including, but not limited to, payment records, American Association of Community Colleges (AACC), Association of Governing Boards (AGB), Maryland Association of Community Colleges (MACC), Community College Survey of Student Engagement (CCSSE), Leadership Montgomery, and Montgomery County Chamber of Commerce (MCCC). 5 years, then destroy 5 years, then destroy 2-9 MEMORANDUMS OF UNDERSTANDING Bilateral agreements or multilateral agreements between Montgomery College and any county, state, or federal entity, including Montgomery County Public Schools (MCPS), Discovery, Gateway to College, Maryland DC Campus, and Compact. bb 5 years, then screen for and destroy any material not of historical value; Special Collections: transfer remaining materials to Special Collections. Permanent Date: 12/17/2013 Page 4 of 76

8 President s Office Organizations: , , Record Group #: 102 Records Retention Schedule: PROGRAMS All documentation related to educational programs and initiatives, including Area Cooperative Educational Services (ACES) and Gateway to College. 10 years 5 years, then transfer to off-site storage. Off-site 5 years, then destroy 2-11 SCHOLARSHIPS All documentation on awarded scholarships, including applications, essays, and resumes. 3 years 5 years, then destroy Date: 12/17/2013 Page 5 of 76

9 General Counsel Organization Record Group #: 123 Records Retention Schedule #: 3 General Counsel Organization GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files related to the activities of the Office of the General Counsel. Special Collections: 3 years, or permanent 3 years then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Retain permanently any material mandated by statute or that serves to document the origin, development, functions, and accomplishments of the office. Permanent 3-2 CONTRACT FILES All contracts (except employee contracts, student activities contracts, and grant agreements) entered into by the College, as well as related correspondence memoranda, and miscellaneous papers. 30 years Retain as long as documents have continuing administrative value, then deposit in the College Archives Off-site: 30 years then destroy 3-3 LITIGATION FILES Records documenting litigation as well as non-litigation files involving Montgomery College. 30 years Retain as long as documents have continuing administrative value, then deposit in the College Archives Off-site: 30 years then destroy Date: 3/25/2013 Page 6 of 76

10 Equity and Diversity (coupled with HRSTM) Organization Record Group #: 112 Records Retention Schedule #: 4 Equity and Diversity (HRSTM) Organization GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of the Office of Equity and Diversity. Special Collections: 3 years, or permanent 3 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Retain permanently any material mandated by statute or that serves to document the original, development, functions, and accomplishments of the office. Permanent 4-2 AFFIRMATIVE ACTION REPORTS Reports documenting the College affirmative action program, including Federal EEO- 6, Title IX Self-Evaluation Reports, and similar reports and evaluations. Retain reports 10 years, then destroy Retain reports 5 years, then transfer to off-site storage Off-site: Five years, then destroy 4-3 AFFIRMATIVE ACTION; EQUAL EMPLOYEMENT AND EDUCATON; AND EQUITY, ACCESS AND DIVERSITY SUPPORTING MATERIALS Supporting data documenting the College affirmative action program, equal employment and education, and equity, access and diversity programs. (Note: this item does not include the official Affirmative Action Reports, Diversity Plan, and the compliance reports. See item 2 above.) Retain supporting data 3 years, then destroy Three years, then destroy Date: 3/2013 Page 7 of 76

11 Records Retention Schedule #: 5 Office of Compliance Organization Record Group #: 109 Office of Compliance Organization GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to activities of the Office of Compliance. Types of information include: Compliance Coordinating Committee Meeting materials, work group files, system reports, project information, original P-card receipts and budget materials, training programs and participant information, and documentation of compliance activities. 3 years, or permanent 3 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Retain permanently any material mandated by statute or that serves to document the origin, development, functions, and accomplishments of the office. Off-site: Permanent 5-2 REGULATORY COMPLIANCE MANDATED DISCLOSURES Correspondence records of disclosure notifications sent to students and employees mandated by regulatory requirements. 12 years 12 years, then destroy 5-3 ADA ACCOMMODATION AND RESOLUTION AGREEMENTS Correspondence with Disability Support Services (DSS) and faculty on academic accommodation requests; meeting notes with students, faculty, administration, and visitors on accommodation and access concerns; access resolution agreements with the Department of Education, facilities, and academic units; and, accommodation requests from employees with disabilities. 6 years, or permanent 6 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Retain permanently any material mandated by statute or that serves to document the origin, development, functions, and accomplishments of the office. Off-site: Permanent Date: 8/21/2013 Page 8 of 76

12 Planning & Institutional Effectiveness Organization 200xxx Record Group #: 107 Records Retention Schedule #: 6 Planning & Institutional Effectiveness Organization 200xxx 6-1 CURRICULUM, GENERAL EDUCATION, MHEC FILES Correspondence, memoranda, and miscellaneous subject files relating to curriculum, general education courses and Maryland Higher Education Commission. Off-site: 55 years, or permanent 5 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Transfer any material mandated by statute or that serves to document the history (original, development, functions, and accomplishments) of the office/college. 50 years, then destroy 6-2 STRATEGIC PLANNING FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of strategic planning. 25 years 25 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value every 5 years. 6-3 OUTCOMES ASSESSMENT FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of Outcomes Assessment. Off-site: 25 years 5 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Transfer remaining materials to MC off-site storage. 20 years, then destroy 6-4 ACADEMIC REGULATIONS FILES Correspondence, memoranda, and miscellaneous subject files relating to the Academic Regulations. 5 years, or until no longer active then destroy. 5 years, or until no longer active then destroy. Date: 2/20/14 Page 9 of 76

13 Planning & Institutional Effectiveness Organization 200xxx Record Group #: 107 Records Retention Schedule #: POLICIES AND PROCEDURES FILES Correspondence, memoranda, and miscellaneous subject files relating to College Policy and Procedures. Special Collections: 5 years, or permanent 5 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Transfer any material mandated by statute or that serves to document the history (original, development, functions, and accomplishments) of the office/college to Special Collections. Permanent 6-6 COLLEGE REVIEW FILES Correspondence, memoranda, and miscellaneous subject files relating to the College Area Review. Off-site: 25 years 5 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Transfer remaining materials to MC off-site storage. 20 years, then destroy 6-7 MIDDLES STATES FILES Correspondence, memoranda, reports and miscellaneous subject files relating to the Middle States meetings and activities. 35 years 10 years, then transfer to MC off-site storage Off-site: 25 years, then destroy 6-8 GENERAL CORRESPONDENCE AND OFFICE FILES: OFFICE OF THE VP FOR PLANNING AND INSTITUTIONAL EFFECTIVENESS Correspondence, memoranda, and miscellaneous subject files relating to the activities of the Office of Vice President Planning and Institutional Effectiveness. 25 years 3 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Transfer remaining materials to MC off-site storage. Off-site: 22 years, then destroy Date: 2/20/14 Page 10 of 76

14 Planning & Institutional Effectiveness Organization 200xxx Record Group #: 107 Records Retention Schedule #: REPORTS TO MARYLAND HIGHER EDUCATION COMMISSION (MHEC ) OR INTEGRATED POST- SECONDARY EDUCATION DATA SYSTEM (IPEDS) Federal and State required or mandated reports (published or electronic) on enrollment, employee, and graduation; including data sets supporting required or mandated enrollment. 10 years 10 years, then destroy 6-10 REPORTS TO EXTERNAL AGENCIES (NOT REQUIRED BY FEDERAL OR STATE) Reports (published or electronic) on enrollment, employee, and graduation for external agencies, excluding MHEC and IPEDs reports. 10 years 10 years, then destroy 6-11 ENROLLMENT AND ADMINISTRATIVE REPORTS Reports (published or electronic) on enrollment, faculty workload, transfer/graduates, courses and programs. 10 years 10 years, then destroy Date: 2/20/14 Page 11 of 76

15 Advancement & Community Engagement Page 12 of 76

16 Montgomery College Record Retention Schedule: Advancement & Community Engagement Organization 210xxx Record Group #: 108 Records Retention Schedule #: 7 Advancement & Community Engagement Organization 210xxx 7-1 ALUMNI Correspondence, memoranda, and various project files related to the activities of the Alumni Department including editorial and design. Off-Site: Special Collections: 8 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 5 years on the college network, then delete. 5 years (hard copy business records), then destroy Permanent (only historical materials) 7-2 CREATIVE SERVICES Correspondence, memoranda, and various project files related to the activities of the Alumni Department including editorial and design. Off-Site: Special Collections: 10 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal or operational value -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 7 years on the college network, then delete. 7 years (hard copy business records), then destroy Permanent (only historical materials) Last Updated: 5/15/14 Page 13 of 76

17 Montgomery College Record Retention Schedule: Advancement & Community Engagement Organization 210xxx Record Group #: 108 Records Retention Schedule #: GRANTS Correspondence, financial records, supporting documents, statistical records, and all other non-federal entity records pertinent to a Federal, State, or other award per the guideline referenced in the 2 Code For Regulation (CFR) years, or per requirements of the grant s terms and conditions 3 years, unless otherwise required in the grant s terms and conditions, after the submission of the final expenditure report. 7-4 ADMINISTRATIVE Correspondence, memoranda, and miscellaneous subject files related to the activities of the office of the Senior Vice President. Off-Site: Special Collections: 8 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical value. -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 5 years on the college network, then delete. 5 years (hard copy business records), then destroy Permanent (only historical materials) Last Updated: 5/15/14 Page 14 of 76

18 Montgomery College Record Retention Schedule: Advancement & Community Engagement Organization 210xxx Record Group #: 108 Records Retention Schedule #: SPECIAL EVENTS Correspondence, memoranda, and various project files related to the activities of the Special Events unit. Special Collections: 3 years or permanent 3 years, then screen for and destroy in-house any materials having no fiscal, legal, operational, or historical value -Transfer materials with historical value (such as publications or photos) to Special Collections Permanent (only historical materials) 7-6 MARKETING Correspondence, memoranda, and various project files related to the activities of the Marketing unit including editorial and design. Off-Site: Special Collections: 8 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical value -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 5 years on the college network, then delete. 5 years (hard copy business records), then destroy Permanent (only historical materials) 7-7 COMMUNITY ENGAGEMENT Correspondence, memoranda, and various project files related to the activities of Community Engagement. Off-Site: Special Collections: 8 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical value -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 5 years on the college network, then delete. 5 years (hard copy business records), then destroy Permanent (only historical materials) Last Updated: 5/15/14 Page 15 of 76

19 Montgomery College Record Retention Schedule: Advancement & Community Engagement Organization 210xxx Record Group #: 108 Records Retention Schedule #: FOUNDATION Correspondence, memoranda, and various project files related to the activities of the Foundation including gifts and pledges. Off-Site: Special Collections: 10 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical value. -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 7 years on the college network, then delete. 7 years (hard copy business records), then destroy Permanent (only historical materials) 7-9 MONTGOMERY COLLEGE TELEVISION Correspondence, memoranda, and various project files related to the activities of the Montgomery College Television unit. Off-Site: Special Collections: 8 years or permanent 3 years, then screen for and destroy materials having no fiscal, legal, operational, or historical value -Transfer materials with historical value to Special Collections; and transfer hardcopy business records to off-site storage. -Retain electronic business records for an additional 5 years on the college network, then delete. 5 years (hard copy business records), then destroy Permanent (only historical materials) Last Updated: 5/15/14 Page 16 of 76

20 Administrative & Fiscal Services Page 17 of 76

21 Records Retention Schedule #: 8 Administrative and Fiscal Services Organization 220xxx Record Group #: 126 Administrative and Fiscal Services Organization 220xxx 8-1 GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to activities of the Office of the Executive Vice President for Administrative and Fiscal Services. Special Collections: Permanent 3 years, or permanent 3 years, then screen materials. Retain permanently only materials mandated by statute or that serve to document the history of the office or the College; and destroy all remaining materials. Transfer materials of historical value to Special Collections. Date: 2/17/2014 Page 18 of 76

22 Records Retention Schedule #: 9 Office of Management and Budget Organization 221xxx Record Group #: 221 Office of Management and Budget Organization 221xxx 9-1 GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memos, manuals, procedures and letters of instruction, etc., pertaining to the internal and external operations of the Office of Management and Budget. 3 years after superseded or obsolete 3 years after specified conditions are met, then destroy 9-2 PROJECT DOCUMENTATION General project document, plans, analysis and communication. 5 years after project completion or when obsolete, then destroy 5 years as calculated above, then destroy 9-3 ANALYSIS DOCUMENTS General Scope documents, plans, analysis and communication. 5 years after project completion or when obsolete, then destroy 5 years as calculated above, then destroy 9-4 AUDITS (INTERNAL) WORKING PAPERS AND FINAL REPORTS Working files containing correspondence, memos, drafts, preliminary findings, notes, and other materials used in preparing an internal audit of a College program or office. Includes final report of audit or examination 3 years following close of audit or resolution of audit issues, whichever is longer 3 years after specified conditions are met, then destroy 9-5 AUDITS (EXTERNAL) FINAL AUDIT/EXAMINATION REPORTS Documents related to external audits that includes, but is not limited to, preliminary and final audit reports, final determinations, correspondence, memos, etc. 3 years following close of audit or resolution of audit issues, whichever is longer 3 years after specified conditions, then destroy Date: 1/8/2014 Page 19 of 76

23 Records Retention Schedule #: 9 Office of Management and Budget Organization 221xxx Record Group #: APPROVED RECORDS RETENTION SCHEDULE Approved versions of the College Office Records Retention Schedule. 7 years after superseded and no longer needed for reference 7 years after specified conditions, then destroy 9-7 CERTIFICATES OF RECORD DESTRUCTION Certificates of record destruction for both off-site and in-house destruction of records in accordance with the retention period specified on the Records Retention Schedule. 7 years 7 years, then destroy 9-8 RECORDS MANAGEMENT OPERATIONAL DOCUMENTS Files related to the operations of the Colleges records management services, including, but not limited to, process guides and forms; MC central receiving and vendor record transfer forms; work orders and receipts; vendor contracts; content sheets (for destroyed cartons); record inventories; and authorized notice of destruction reports. 3 years after superseded and/or record cartons destroyed 3 years after specified condition, then destroy Date: 1/8/2014 Page 20 of 76

24 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: 111 Office of Business Services Organization 222xxx 10-1 GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of the Office of the Director of Finance Special Collections: 3 years, or permanent Screen every 3 years and destroy any materials that do not have historical value; that is, materials that serve to document the origin, development, functions, and accomplishments of the office/college. Transfer historical materials to Special Collections. Permanent GENERAL LEDGERS Records of financial transactions in all accounts during the fiscal year; not as detailed as the statement of Transactions. Only the end of fiscal year run is retained. 3 years 3 years, then destroy 10-3 STATEMENT OF TRANSACTIONS Detailed record of financial transactions in all accounts during the fiscal year. Only the end-of-fiscal-year run is retained. This includes the Books of Final Entry ledgers. 7 years Off-site Storage: 3 years, then transfer to Montgomery College off-site storage 4 years, then destroy 10-4 OPERATING BUDGET REPORT Summary of financial transactions in all accounts during the fiscal year recorded in a manner consistent with the format of the Operating Budget. Only the end-of-fiscalyear run is retained. This includes Budget Material - annual working budgets, annual asking budgets, campus budget amendments, budget histories, budget system material, tuition revenue projections, fringe benefit projections, and indirect cost projections. 3 years, then destroy 1 year, then transfer to off-site Montgomery College storage Storage: 2 years, then destroy Date: 1/31/14 Page 21 of 76

25 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: FIXED ASSET INVENTORY A record of all College equipment and furniture documenting the value and location of each item. 3 years or until audited 1 year, then transfer to off-site Montgomery College storage Storage: 2 years, then destroy 10-6 INVESTMENT RECORDS Records of all College investments, including policies and procedures to be followed, financial data, correspondence, and miscellaneous supporting data. 3 years or until audited, whichever is longer. 1 year, then transfer to off-site Montgomery College storage Storage: 2 years, then destroy 10-7 CAPITAL PROJECTS FINANCIAL RECORDS Copies of contracts with capital projects and records of payment made by the College under the terms of the contact. 5 years after project is formally closed, then destroy 2 years after project is formally closed, then transfer to off-site Montgomery College storage Storage: 3 years, then destroy 10-8 PAYROLL RECORDS Records documenting the payment of salaries to College employees, with supporting materials, including but not limited to the following: Payroll registers; employee folders; attendance vouchers; leave reports; leave balance records; miscellaneous deductions; and W-2 forms. 5 years, then destroy 1 year, then transfer to off-site Montgomery College storage Storage: 4 years, then destroy 10-9 PAYROLL CHECKS Stop payments, Check Cancellations, and Refunds documentation 15 years, then destroy 1 year, then screen and destroy any material with no further value. Transfer remaining materials to off-site Montgomery College storage Storage: 14 years, then destroy Date: 1/31/14 Page 22 of 76

26 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: FEDERAL, STATE AND NON-GOVERNMENTAL GRANT FINANCIAL RECORDS Copies of proposal, awards, financial records documenting the receipt and expenditure of funds, and periodic required reports relating to grants received by the College. 10 years, then destroy 1 year, then transfer to Montgomery College off-site storage. Storage: 9 years, then destroy FACULTY PROFESSIONAL DUES RECORDS Records of payments of professional dues made by the faculty. 3 years, then destroy 3 years, then destroy NATIONAL DIRECT STUDENT LOAN RECORDS Original requests for loan, conditions of loan, correspondence, promissory notes, record of payments, and related items. Retain 3 years after loan fully paid or for that period of time required by Federal records retention regulations, whichever is longer. Retain until loan fully paid; then transfer to Montgomery College off-site storage. Storage: 3 years, then destroy NATIONAL DIRECT STUDENT LOAN RECORDS ASSIGNED LOANS Documents for Loans assigned or referred to the Federal government for collection: including the original requests for loan, conditions of loan, correspondence, promissory notes, record of payments, and related items. 10 years, then destroy 2 years; then transfer to Montgomery College off-site storage Storage: 8 years, then destroy BANK STATEMENTS Monthly statements received from the Bank, with worksheets. 5 years or until audited, whichever is longer 3 years; then transfer to Montgomery College off-site storage Storage: 2 years, then destroy Date: 1/31/14 Page 23 of 76

27 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: CANCELLED CHECKS All cancelled checks, excluding payroll, by the Bank. 5 years or until audited, whichever is longer 1 years; then transfer to Montgomery College off-site storage Storage: 4 years, then destroy CASH RECEIPT SUMMARY, Cash receipt summary of all financial transactions daily at the College. 3 years or until audited, whichever is longer 1 year, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy CHECK VOUCHERS Alphabetical and numerical copies of all vouchers (except payroll vouchers) that accompany checks to vendors, etc. The numerical copy includes supporting documents such as an additional copy of the purchase order or a vendor invoice. 5 years or until audited, whichever is longer 1 year, then transfer to Montgomery College off-site storage Storage: 4 years, then destroy MULTI-PURPOSE FORMS Original entry of accounting transactions, with backup material. 3 years, then destroy 1 year, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy STOP PAYMENT REQUEST Daily record of requests for stop payment of checks issued by the College. 3 years, then destroy 1 year, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy RETURNED CHECK LOG Daily entries of checks returned to the Finance Office. 3 years, then destroy 1 year, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy Date: 1/31/14 Page 24 of 76

28 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: PAID INVOICES, MC Rental of College facilities by outside organizations with payment record. 5 years, then destroy 2 years, then transfer to Montgomery College off-site storage Storage: 3 years, then destroy SALES TAX RECORDS Record of sales tax refunds and voids. 5 years, then destroy. 2 years, then transfer to Montgomery College off-site storage Storage: 3 years, then destroy DISCIPLINE COST ANALYSIS An analysis of the cost of instructional disciplines as defined by Higher Education General Information Survey (HEGIS) 7 years Off-site Storage: 2 years, then transfer to Montgomery College off-site storage 5 years, then destroy FINAL CLOSE OUT REPORTS Computer generated reports documenting monthly and year-end financial transactions. 5 years, then destroy 3 years, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy STUDENT PAYMENT RECORDS Computer printouts which document student tuition payments, including but not limited to the following: Student billing batch total listing, student billing transaction logs, student billing detail, student billing entries, etc. 3 years, then destroy 1 year, then transfer to Montgomery College off-site storage Storage: 2 years, then destroy Date: 1/31/14 Page 25 of 76

29 Records Retention Schedule #: 10 Office of Business Services Organization 222xxx Record Group #: STUDENT CONTRACT SPONSOR BILLING The invoice for students whose employers pay their tuition. The fees are paid in full and the contract and invoice are retained. 3 years or until audited, whichever is longer 3 years or after audit, then destroy BALANCE SHEETS Daily batch totals which are the record of the cash summary from the campus cashier s offices with credit card slips, tapes and deposit slips. 7 years, then destroy 2 years, then transfer to Montgomery College off-site storage Storage: 5 years, then destroy INSTITUTIONAL INSURANCE RECORDS Policies, Certificates of liability Insurance, correspondence, memoranda, renewal materials, some claims records and miscellaneous materials relating to the administration and renewal of institutional insurance policies. 7 years, then destroy 2 years, then transfer to Montgomery College off-site storage Storage: 5 years, then destroy WORKER COMPENSATION FIRST REPORT OF INJURY State of Maryland form that includes the following information: employers name and State mailing address; insurance policy; employee s name; address; Social Security Number; and occupation; occurrence-place of accident, date of injury/illness; physician s name and address; and hospital name and address. 30 years, then destroy 30 years, then destroy unless litigation claims, complaints, or audits are in process before this retention period ends. Retain records under the hold until the hold is removed. Date: 1/31/14 Page 26 of 76

30 Records Retention Schedule #: 11 Office of Information Technology Organization 223xxx Record Group #: 120 Office of Information Technology Organization 223xxx 11.1 GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of the Office of Information Technology. Special Collections: 5 years, or permanent Five years in OIT office, then screen materials. Retain permanently any material mandated by statute or that serves to document the history of the office or the College; and destroy remaining materials. Transfer historical materials to special collections. Permanent 11.2 PUBLICATIONS Newsletters and publications related to the activities of the Information Technology Unit. Special Collections: 5 years, or permanent Five years in OIT office, then screen materials. Retain permanently any material mandated by statute or that serves to document the history of the office or the College; and destroy remaining materials. Transfer historical materials to special collections. Permanent College stored on the Exchange server maintained by OIT. 30 days, or longer if subject to legal hold requests. OIT will retain deleted s for a period of 30 days. s not deleted by the User will remain in the user s account until that account is deleted DATABASE AUDIT LOGS Logs Reviewing Daily activity to College s databases 90 days, then destroy OIT will retain logs for a period 90 days and then delete. Date: December 2013 Page 27 of 76

31 Records Retention Schedule #: 11 Office of Information Technology Organization 223xxx Record Group #: SERVICE DESK LOGS AND REPORTS Consists of records used to document requests for technical assistance and responses to these requests, as well as to collect information on the use of computer equipment to compile monthly and annual statistics, and for reference for planning, management analysis, and other administrative purposes. 5 years, then destroy OIT will retain logs logs and reports in electronic form 5years, then destroy CONNECTED BACKUP FILES OF INDIVDUAL HARD DRIVES Daily backup of each staff or faculty workstation to a server in the Network Operations Center (NOC). Makes deleted files or older drafts of files available for limited period of time. 90 days OIT will retain backup files of each staff and faculty workstation to a server in the College NOC. Versions of an individual file will be available for restoring for up to 90 days. Deleted files will be available for 90 days from the date of deletion. The account of a User who is no longer with the College will be deleted within 1-7 days, depending on workload, or legal holds NETWORK DRIVES BACK UP TIVOLI/COMVAULT Files backing up all network drive and systems for backup and disaster recovery purposes. Tivoli (soon moving to Comvault) is used to back up the servers. Originally, the servers are backed up fully. Thereafter, they are backed up incrementally on a daily basis with a weekly full backup. Full backups are done on a regular basis for particular servers; neither the selection process for these backups, nor identification of these servers is documented. The eight most recent copies of the backups are kept. The primary backup data is kept at the Network Operations Center in Takoma Park on a SAN, configured to appear to TSM as LT04 tapes. A copy of the backup is sent daily via network to Rockville, to LTO4 tapes in a 3584 Tape Library. Should the main tapes at the NOC be destroyed, the backup tapes in RV can be used for restore. Tivoli is used for application restore. If it does not work, staff will reload the applications. 8 cycles OIT will retain backups at two separate locations every day, and any given days backup is available for 8 days. Date: December 2013 Page 28 of 76

32 Records Retention Schedule #: 11 Office of Information Technology Organization 223xxx Record Group #: WEB DOCUMENTATION Electronic files related to Web Pages and changes made to those web pages. Until superseded by upgrades or deletions. Until superseded by upgrades or deletions 11.9 BANNER DOCUMENTATION Electronic files relating to upgrades to College ERP system. Until superseded by further upgrades. Until superseded by further upgrades INFORMATION SYSTEMS DOCUMENTATION Including: Application Development Files (Records created and used in the development, redesign, or modification of an automated system or application. These may include: project management records, status reports, draft system or subsystem specifications, draft user requirements and specifications, and memoranda and correspondence.); Source Code; Information Systems Specifications (User and operational documentation describing how an application system operates from a functional user and data processing point of view. Also, may include records documenting data entry, manipulation, output and retrieval, records necessary for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation, job control or work flow records, system specifications, and input and output specifications.); Data Documentation (Records necessary to access, retrieve, manipulate and interpret data in an automated system. In addition, may include data element dictionary, file layout, code book or table, and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.); Hardware Documentation (Records documenting the use, operation, and maintenance of an agency's data processing equipment.); and Conversion/Migration Plans (Records that deal with the replacement of equipment or computer operating systems due to hardware/software obsolescence or maintenance.). Until Superseded OIT will retain Information Systems Documentation until it is superseded by upgrades. Date: December 2013 Page 29 of 76

33 Records Retention Schedule #: 11 Office of Information Technology Organization 223xxx Record Group #: INFORMATION SYSTEMS EQUIPMENT SUPPORT Information on data processing equipment, software, and other products and their vendors. Record of support services provided for specific data processing equipment, including site visit reports, service reports, service histories, and correspondence. Active plus 3 years, then destroy Active plus 3 years, then destroy INFORMATION SYSTEMS POLICIES Policies, standards, procedures for data processing, including access, security, systems development, data retention and disposition, and data ownership. Records of procedures for data entry, the operation of computer equipment, production control, tape library, system backup, and other aspects of a data processing operation. Active plus 10 years, then destroy Active plus 10 years, then destroy SOFTWARE MANAGEMENT RECORDS Records document the use of software in College information systems. The series is used to insure that College software packages are compatible, that license and copyright provisions are in compliance, and that upgrades are obtained in a timely manner. Records include software purchase records; software inventories; software licenses; site licenses; and correspondence. Until software is disposed of or upgraded, then destroy OIT will maintain until software is disposed or upgraded, then destroy TELECOMMUNICATIONS SYSTEM MANAGEMENT RECORDS Records document the creation, modification, and disposition of College telecommunications systems. Records include: equipment records; repair order forms; system planning records; telecommunications maintenance contracts and service orders; and related correspondence. For life of system and then destroy OIT will maintain for the life of the system, then destroy Date: December 2013 Page 30 of 76

34 Records Retention Schedule #: 12 Office of Human Resources and Strategic Talent Management Organization 224xxx Record Group #: 114 Human Resources & Strategic Talent Mgt. Organization 224xxx 12.1 GENERAL CORRESPONDENCE AND OFFICE FILES Correspondence, memoranda, and miscellaneous subject files relating to the activities of the office of the Associate Senior Vice President of Human Resources and Strategic Talent Management. 3 years, or permanent 3 years, then screen for and destroy material having no further administrative, fiscal, legal, or operational value. Retain permanently any material that serves to document the origin, development, functions, and accomplishments of the office. Special Permanent Collections: Classification & Compensation POSITION DESCRIPTION FILE Position descriptions for Montgomery College employees. File contains supporting documentation for creating a new position, reclassification, and other classification actions. Permanent Permanent STAFF CLASSIFICATION FILE Working file of classification specifications, specific job descriptions, list of budgeted positions, recommendations, and related information. Permanent Permanent FACULTY POSITION FILE File contains and not limited to the following: faculty position description, personnel action forms (PAFs), initial salary placement form, Faculty Credential Summary Form for Initial Salary Placement. Permanent Permanent GENERAL CLASSIFICATION AND COMPENSATION FILE File contains and not limited to the following: supporting documentation of a reorganization of a department/unit; organization charts; classification renewal project, and salary surveys. Permanent Permanent Date: December 2014 Page 31 of 76

35 Records Retention Schedule #: 12 Office of Human Resources and Strategic Talent Management Organization 224xxx Record Group #: CLASSIFICATION ACTION FILE Documents supporting a variety of classification actions including, but not limited to, the following: individual position classification review requests and occupational job class studies. Permanent Permanent SALARY EQUITY REVIEW FILE File contains equity review requests, supporting documentation and disposition of request. 5 years 5 years, then destroy Recruitment and Employment APPLICATIONS Applications for faculty, staff, and administrative positions at the College. 3 years 3 years, then destroy FACULTY / ADMINISTRATOR / STAFF RECRUITMENT RECORDS Recruitment records maintained by HRSTM for positions at Montgomery College, including Affirmative Action recruitment and selection reports. 6 years 2 years Off-site: 4 years, then destroy REQUESTS / STUDENTS: TEMPORARY ASSISTANTS Requests for temporary and student assistants by academic departments and administrative offices (student employment form). 3 years 3 years, then destroy Date: December 2014 Page 32 of 76

36 Records Retention Schedule #: 12 Office of Human Resources and Strategic Talent Management Organization 224xxx Record Group #: FACULTY AND STAFF PERSONNEL FILES The file contains materials collected at time of employment, including but not limited to the following: application and letters of recommendation, salary/compensation action authorizations (includes salary files), evaluations, Personnel Action Forms (PAFs) and other materials relevant to the individual s employment with the College. 3 years after termination of employment Retain while active and for one year after termination of employment Off-site: 2 years, then destroy PART-TIME FACULTY PERSONNEL FILES The file contains materials collected at time of employment, including but not limited to the following: application and letters of recommendation, salary/compensation action authorizations (includes salary files), evaluations, Personnel Actions Forms (PAFS) and other materials relevant to the individual s employment with the College. 3 years after termination of employment Retain while active and for one year after termination of employment Off-site: 2 years, then destroy ADMINISTRATORS PERSONNEL FILE The file contains materials collected at time of employment, including but not limited the following: application and letters of recommendation, copies of salary authorizations and personnel actions, and other materials relevant to the administrator s employment with the College. 5 years Retain while active and for 1 year after termination of employment Off-site: 4 years, then destroy STUDENT ASSISTANT AND TEMPORARY EMPLOYEE FILES The file contains requests for temporary and student assistants and include but not limited to the following: PAFs, application or resume, and other materials related to the individual s employment with the college. 3 years after termination of employment 3 years after termination of employment, then destroy Date: December 2014 Page 33 of 76

37 Records Retention Schedule #: 12 Office of Human Resources and Strategic Talent Management Organization 224xxx Record Group #: EMPLOYMENT RECORD CARDS Cards containing employment information for faculty, students, temporaries, and staff. These cards are used as a cross reference to the files maintained by HRSTM. (Note: cards were completed and used prior to the implementation of the first HR Information System; Cards are no longer produced.) 3 years after termination of the employee Retained in office while employee is actively employed Off-site: 3 years after termination, then destroy EMPLOYMENT ELIGIBILITY VERIFICATION (I-9 FORM) I-9 Forms completed by employees hired after November 6, 1986 to verify eligibility to work. 3 years after hire or 1 year after termination, whichever is later 3 years after hire or 1 year after termination, whichever is later, then destroy CRIMINAL BACKGROUND CHECK RESULTS Results received for employee s whose position has access to children or other vulnerable populations. Destroyed upon employee termination. Destroyed upon employee termination. Labor Relations COLLECTIVE BARGAINING RECORDS All records relating to collective bargaining agreements at the College. 25 years 10 years Off-site: 15 years, then destroy Employee Relations EMPLOYEE ENGAGEMENT Records pertaining to employee and labor relations, collective bargaining, personnel, Policies and Procedures, etc. 25 years 10 years Off-site: 15 years, then destroy Date: December 2014 Page 34 of 76

38 Records Retention Schedule #: 12 Benefits Office of Human Resources and Strategic Talent Management Organization 224xxx Record Group #: PERSONNEL HEALTH INSURANCE RECORDS Contracts with insuring agency, enrollment cards and forms, and related material. 3 years after termination of policy or coverage 3 years after termination of policy or coverage, then destroy PERSONNEL LIFE INSURANCE RECORDS Contracts with insuring agency, enrollment cards and forms, and related material. 3 years after termination of policy or coverage 3 years after termination of policy or coverage, then destroy EAP/ TUITION WAIVER RECORDS Application forms and any related records documenting the participation of College employees in Educational Assistance Plan benefits and Tuition Waiver Plan benefits. 3 years 3 years, then destroy INSTITUTIONAL INSURANCE RECORDS Policies, certificates of liability, correspondence, memoranda, renewal materials, some claims records, and miscellaneous materials relating to the administration and renewal of institutional insurance policies. 5 years after entire basic policy has been superseded 5 years after entire basic policy has been superseded, then destroy CASH RECEIPTS Cash receipts for benefits insurance premium payments made by former college employees, employees on leave without pay and other eligible individuals in order to continue participation in the College Benefits Program. 3 years 3 years, then destroy EMPLOYEE BENEFIT PLAN RECORDS Records documenting deductions for health insurance, life insurance, and other employee benefits. Also covers miscellaneous records of employee participation in the college benefit plan. 3 years after employee termination 3 years after employee termination, then destroy Date: December 2014 Page 35 of 76